Chief Compliance Officer – Broker Dealer / Trading

Through recent recruiting efforts on an Engaged Search, we identified a senior level securities compliance candidate with a strong and diverse background. This individual offers strength in retail brokerage / RIA along with investment banking, market-making and trading organization compliance. They have worked in the industry and within regulatory offices including penning parts of major legislation. This person has strong ties within FINRA’s field offices and DC offices and can help navigate your organization through the complex landscape of securities industry compliance. Candidate is open to relocation to most areas of the country including the major financial market regions.

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Travis Lupton

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